RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
J•••••• R• S••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Sep 1, 2023 · Marco Island, Fl
- F•••• C•••••• A••••••• G••••• L•• formerDec 15, 2015 to Oct 13, 2023 · Blue Bell, Pa
- C••••• F••••••••• W••••• P•••••••• L•• formerSep 13, 2013 to Nov 10, 2015 · Plymouth Meeting, Pa
- M•••••• BD affiliatedJan 10, 2011 to Jan 9, 2014 · Overland Park, Ks
- C••• W••••• M••••••••• L•• unclassifiedMay 24, 2010 to May 26, 2011 · Cleveland, Oh
- C••• R••••••••• P••• A••••••• S••••••• institutionalFeb 18, 2004 to Dec 9, 2011 · Plymouth Meeting, Pa
- F•••• C•••••• A••••••• G••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Oct 13, 2023, registered Sep 1, 2023 (-42 days) · RIA to RIA
- C••••• F••••••••• W••••• P•••••••• L•• to F•••• C•••••• A••••••• G••••• L••left Nov 10, 2015, registered Dec 15, 2015 (35 days) · Other
- M•••••• to C••••• F••••••••• W••••• P•••••••• L••left Jan 9, 2014, registered Sep 13, 2013 (-118 days) · Other
- C••• R••••••••• P••• A••••••• S••••••• to C••• W••••• M••••••••• L••left Dec 9, 2011, registered May 24, 2010 (-564 days) · Other
- C••• W••••• M••••••••• L•• to M••••••left May 26, 2011, registered Jan 10, 2011 (-136 days) · Other
- J•••••• R• S•••••• left F•••• C•••••• A••••••• G••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-09-01)Oct 13, 2023 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address